Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Friday, September 5, 2014

Tracey L. McNeil Named as SEC’s First Ombudsman

Tracey L. McNeil has been named the SEC's first ombudsman.  The press release states in part:

The Securities and Exchange Commission today announced that Tracey L. McNeil has been selected as the first ombudsman for the agency. . . .

In her new role, Ms. McNeil will report to Rick Fleming, the first head of the SEC’s Office of the Investor Advocate. The Dodd-Frank Act called for the creation of the office and requires the Investor Advocate to appoint an ombudsman who will act as a liaison in resolving problems that retail investors may have with the Commission or self-regulatory organizations. The ombudsman also will establish safeguards to maintain the confidentiality of communications with investors.

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